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David Anthony Rosato

Northwestern Mutual Investment Services, LLC

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About David Anthony Rosato

David Anthony Rosato is a financial advisor with Northwestern Mutual Investment Services, LLC. David has been in the financial services industry since April 1999. David has passed numerous industry exams including Series 6, Series 7, Series 63, Series 66, and the Securities Industry Essentials (SIE) exam. David is also a Certified Financial Planner (CFP®). David has worked for Robert W. Baird & Co. Incorporated in the past. David is registered to provide investment advice and securities services in Florida, Kansas, Kentucky, New York, North Carolina, Pennsylvania, and Wyoming. David is also registered as an investment advisor representative in Florida. David is a member of the Care Club of Collier County and serves as President of the Board of Directors.

Firm Information

David Rosato is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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David Rosato’s Registration & Firm History

FL

09/27/2010 - Present

Northwestern Mutual Investment Services, LLC (Naples FL)

WI

07/06/1999 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 05/09/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/23/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/2004

Series 7 - General Securities Representative Examination

BC

Issued 04/19/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Anthony Rosato.
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